Certification of audit firm leader Date……..Month………….Year………… Dear Secretary – General of the Securities and Exchange Commission I, Mr./Mrs./Miss………………………………………………….… (leader’s name), the leader of
session aimed to enhance the students' knowledge and understanding of finance and investment. The event took place on 18 October 2024, at the SEC Building.
firm executives against whom the SEC files a criminal complaint as person of untrustworthy characteristics, active participation of minority shareholders in Extraordinary General Meeting of Shareholders
The Memorandum of Understanding provides a framework for cooperation between the two authorities with respect to promoting innovation in financial services. The CSSF and the SEC Thailand intend to
objective, purpose, or strategy of operation or procurement of benefit of REIT for investor’s understanding and use it as guideline for monitoring REIT business operation direction in the future; 2.2
an opinion on audit reports; 2.2 being affiliated with an audit firm that has an audit quality control system and the required number of personnel; 2.3 meeting other requirements, e.x., not having
company shall notify its counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities
counterparty whether an offer price is a firm quotation or an indicative quotation. Clause 11 In the case where a securities company bids or offers a firm quotation, the securities company shall proceed as
and financial statements audited by an auditor who is employed by an audit firm that has been inspected by the SEC*; 2. Submit half-year and annual financial statements that have been
collective investment scheme established in the ASEAN region that is approved and under supervision of the home regulator that is a signatory to the Memorandum of Understanding Concerning Cooperation and